Dan Jamieson
Dan was Senior Editor at InvestmentNews from 2005 to 2013, before moving on to become Editor at large for Financial Advisor magazine. Check out his video bio here. Connect with him at LinkedIn here.
Thinkorswim users hit TD Ameritrade with hefty arbitration claim
Thinkorswim users sue TD Ameritrade claiming they could not get through to execute trades in August
Stanford’s advisers face long, tough legal slog
The legal woes of R. Allen Stanford, who was found guilty on 13 of 14 charges of fraud by a Houston jury last week, may be over.
Heavy hitters aim to KO Bachus bill
Schwab Advisor Services and TD Ameritrade Institutional rally the troops to oppose bill
Schwab nabs Putnam’s Carney as branch network boss
Schwab nabs new branch network boss in Jeffrey Carney
Schwab cuts ribbon on first franchise branch
The Charles Schwab Corp. has opened its first franchised branch office.
$4.9B breakaway joins Focus
Focus Financial Partners has landed one of its biggest RIA firms yet with the addition of LVW Advisors, a move that also signals the wind-down of the institutional investment management consulting unit at Convergent Wealth Advisors LLC
Gadfly Goble claims that regulators did him in, sues SEC and Finra
Suit charges regulators with conspiring to put his firm, North American Clearing, out of business
Finra seeking comments on BrokerCheck enhancements
The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.
Securities attorney wins long-running battle with Finra
Hearing panel dismisses charges filed by regulator against Kevin Carreno in 2009; 'the process works'
Finra sank his job chances, attorney says
A Florida attorney claims that the Financial Industry Regulatory Authority Inc. derailed his bid to become the state's top financial watchdog in retaliation for a previous legal dispute he had with the regulator.
